Charles Surdyke, financial advisor Poplar Bluff MO
86 score

Charles Surdyke

CRD Number: 1305149
Current Firm: Cetera Investment Advisers LLC

Charles Surdyke (CRD# 1305149) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Poplar Bluff, MO and has over 33 years of experience in the finance industry. Charles Surdyke has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lifebridge Insurance Solutions St. Louis, MO Nov 2017 - Current < 1
Cetera Investment Advisers LLC Schaumburg, IL Jul 2002 - Current 15
Terra/c.t. Solutions, Ltd St. Louis, MO Mar 1996 - Current 22
Cetera Financial Specialists LLC Schaumburg, IL Feb 1996 - Current 22
Msmf St. Louis, MO Apr 1990 - Current 28
Mo. Neb. Express St Joseph, MO Mar 1984 - Current 34
Legend Equities Corporation Palm Beach Gardens, FL Apr 2015 - Apr 2015 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Charles D. Surdyke
Phone Number: 888-528-2987
Registered State(s):
  • MO
By the Numbers
  • Total Assets Under Management
    7,816
    MILLIONS
  • Total Number of Accounts
    41,288
    ACCOUNTS
  • Average Account Value
    $189,310
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
86

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